Reading 1: Code of Ethics and Standards of Professional Co class, agreement, rejects, person, black

mayanfang1

Q14. A covered person who rejects a stipulation agreement:

A)   may request an appeal to a summary suspension review panel.

B)   may request an appeal to a hearing panel.

C)   will typically not be subject to further disciplinary procedure unless a new investigation is initiated.

Q15. Which of the following is least accurate regarding reasons for imposing a summary suspension upon covered persons?

A)   Failure to return the annual professional conduct statement.

B)   Misdemeanor charge for the possession of illegal narcotic substances.

C)   Disbarment under securities laws.

mayanfang1

答案和详解如下：

Q14. A covered person who rejects a stipulation agreement:

A)   may request an appeal to a summary suspension review panel.

B)   may request an appeal to a hearing panel.

C)   will typically not be subject to further disciplinary procedure unless a new investigation is initiated.

Correct answer is B)

A covered person who rejects a proposed stipulation agreement may request an appeal to a hearing panel. This must be done in 30 days, or the matter will be referred automatically if no action is taken. A stipulation agreement is not relevant to a case warranting a summary suspension.

Q15. Which of the following is least accurate regarding reasons for imposing a summary suspension upon covered persons?

A)   Failure to return the annual professional conduct statement.

B)   Misdemeanor charge for the possession of illegal narcotic substances.

C)   Disbarment under securities laws.

Correct answer is B)

A single misdemeanor conviction for possession of illegal narcotics is not grounds for a summary suspension.

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